Martin E. Ellner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Martin E Ellner, who also goes by Marty E Ellener, Martin Eric Ellner, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1985. Martin had worked at 10 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2020 - December 4, 2020
SECURITIES AMERICA, INC.
January 31, 2017 - July 17, 2020
INVESTACORP, INC.
June 18, 2014 - September 30, 2016
PRUCO SECURITIES, LLC.
June 7, 2005 - May 22, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
January 8, 2002 - December 31, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
November 14, 1996 - December 31, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
August 23, 1994 - January 13, 1995
MAFG RIA SERVICES, INC.
January 7, 1993 - August 23, 1994
FFP SECURITIES, INC.
January 4, 1991 - December 31, 1992
CADARET, GRANT & CO., INC.
January 19, 1990 - December 13, 1990
LEHMAN BROTHERS INC.
November 20, 1985 - February 7, 1990
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/23/2022
General Securities Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
